Alice Wai Yin Chow
周慧妍
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Alice Wai Yin Chow (周慧妍), CE reference AMO986. Currently licensed at 2 firm(s): Capital Global Management Limited, First Securities (HK) Limited. Total licence records on file: 9.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Capital Global Management Limited 瑞興全球財富管理有限公司 |
RO | Type 1 — Dealing in securities | 2016-12-09 | present |
| Capital Global Management Limited 瑞興全球財富管理有限公司 |
RO | Type 4 — Advising on securities | 2016-12-09 | present |
| Capital Global Management Limited 瑞興全球財富管理有限公司 |
RO | Type 9 — Asset management | 2016-12-09 | present |
| First Securities (HK) Limited 第一證券(香港)有限公司 |
RO | Type 1 — Dealing in securities | 2016-02-15 | present |
| First Securities (HK) Limited 第一證券(香港)有限公司 |
RO | Type 9 — Asset management | 2016-02-15 | present |
| First Securities (HK) Limited 第一證券(香港)有限公司 |
Rep | Type 9 — Asset management | 2010-10-04 | 2016-02-15 |
| First Securities (HK) Limited 第一證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2009-12-21 | 2016-02-15 |
| KGI Wealth Management Limited 凱基財富管理有限公司 |
Rep | Type 1 — Dealing in securities | 2005-11-28 | 2009-12-19 |
| KGI Wealth Management Limited 凱基財富管理有限公司 |
Rep | Type 4 — Advising on securities | 2005-11-28 | 2009-12-19 |